Category Archives: Form 13F
Is your investment advisor firm required to file quarterly the Form 13F with the SEC? According to Section 13(f) of the Securities Exchange Act of 1934, an institutional money manager that exercises investment discretion over $100 million of Section 13(f) securities must submit quarterly 13F reports to the U.S. Securities and Exchange Commission (“SEC”). Since [...]
Posted by Bryan Hill
Wednesday, February 10, 2010
According to Section 13(f) of the Securities Exchange Act of 1934, an institutional money manager that exercises investment discretion over $100 million of Section 13(f) securities must submit quarterly 13F reports to the SEC. Registered investment advisors meet the definition of institutional money manager and are therefore subject to this rule when they exercise investment [...]
The United States Securities and Exchange Commission (“SEC”) has extended its temporary order requiring institutional investment managers to report short sales of Section 13(f) securities. The order has been extended so that it will now terminate at 11:59 p.m. ET on October 17, 2008. The order requires every institutional investment manager that filed, or was [...]
Yesterday, the U.S. Securities and Exchange Commission (“SEC”) posted a set of questions and answers concerning the SEC’s temporary order requiring certain institutional investment managers to report short sales. Effective this week, institutional investment managers must report daily short sales of section 13(f) securities. According to the SEC, questions and answers presented on their website, [...]
Posted by Bryan Hill
Friday, September 26, 2008
The United States Securities and Exchange Commission (“SEC”) approved amendments to its temporary rule requiring the reporting of short sales of Section 13(f) securities by institutional investment managers. According to a press release issued yesterday, in addition to making technical amendments, the revised order provides that information submitted on Form SH will not be made [...]
Posted by Bryan Hill
Monday, September 22, 2008
If your firm is required to file the Form 13F with the U.S. Securities and Exchange Commission (“SEC”), are you prepared to file your first Form SH via EDGAR by September 29, 2008 pursuant to the SEC’s emergency order issued last week? If you are not ready to file your Form SH, please take this [...]
Posted by Bryan Hill
Sunday, September 21, 2008
Breaking News – The SEC has implemented two emergency orders regarding the practice of short selling. You can read the SEC press release announcing the orders by clicking here. The first order takes effect immediately and is intended to halt short selling of 799 financial stocks. According to the press release, “This decisive SEC action [...]
Posted by Bryan Hill
Friday, September 19, 2008
Registered investment advisors that file the Form 13F with U.S. Securities and Exchange Commission (“SEC”) should remember that reports must be filed within 45 days of the end of each calendar quarter. Therefore, fourth quarter Form 13F reports must be submitted to the SEC via EDGAR by February 14, 2008. Under Section 13(f) of the [...]
RIA Compliance Consultants, Inc. would like to remind Form 13F filers that reports must be filed within 45 days of the end of each calendar quarter. Therefore, third quarter Form 13F reports must be submitted via EDGAR by November 14. Under Section 13(f) of the Securities Exchange Act of 1934 and Rule 13f-1 thereunder, an [...]
Posted by Bryan Hill
Wednesday, October 24, 2007
Earlier today, the United States Securities and Exchange Commission (“SEC”) issued Investment Advisers Act of 1940 Release No. 2634 (August 15, 2007) announcing its settlement with Quattro Global Capital, LLC, a registered investment adviser to a group of hedge funds, for failing to properly file the Form 13F. Under Section 13(f) of the Securities Exchange [...]
Posted by Bryan Hill
Thursday, August 16, 2007
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